Order Instituting Public Administrative and Cease- And- Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing

2021-09-15 3-18347 Sweet, Brian, CPA /litigation/apdocuments/ap-3-18347.xml 2018-01-22 34-82557 AAER-3919 Order Instituting Public Administrative and Cease- And- Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing /litigation/admin/2018/34-82557.pdf 2018-01-23 AP-5510 Order Designating Presiding Judge /alj/aljorders/2018/ap-5510.pdf 2018-06-25 AP-5835 Notice of Stay /alj/aljorders/2018/ap-5835.pdf 2018-07-20 AP-5890 Notice of Extension of Stay /alj/aljorders/2018/ap-5890.pdf 2018-08-23 AP-5954 Notice from the Chief Administrative Law Judge /alj/aljorders/2018/ap-5954.pdf 2018-09-12 AP-5955 Chief Administrative Law Judge’s Order Assigning Proceedings Post Lucia v. SEC /alj/aljorders/2018/ap-5955.pdf 2018-10-03 AP-6138 Order /alj/aljorders/2018/ap-6138.pdf 2021-08-02 ID-1409 Initial Decision /alj/aljdec/2021/id1409cff.pdf 2021-09-15 34-93005 AAER-4251 Notice That Initial Decision Has Become Final /litigation/opinions/2021/34-93005.pdf